Senior Strategy & Operations Manager - Brokerage

The posting, as Savvy wrote it

ABOUT SAVVY WEALTH

Wealth management is a $545 billion industry that still runs on manual work. 75% of advisors offer no digital communication beyond email, and most still build financial plans by hand in Excel. Savvy is reinventing what it looks like to be a financial advisor. Founder Ritik Malhotra saw the fragmentation firsthand after seeking out his own advisor, and started Savvy to give independent advisors a modern, AI-native home.

Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors who want to grow without running the back office themselves. Advisors bring their book and join Savvy, running under their own brand (or ours), and Savvy earns a percentage of the assets they manage. In return, they get a true business-in-a-box: a proprietary tech platform and client portal, an in-house marketing team that helps them grow, a world-class investment management team, and a dedicated client services team that runs day-to-day operations and support. Advisors at Savvy service up to 50% more households and save 19 hours a week.

AI runs through everything we do. On the product side, Savvy Intelligence (released April 2026) is the only AI built for wealth managers that can see a client's complete financial picture. Internally, everyone at Savvy uses Claude and is encouraged to experiment with it, backed by a dedicated AI enablement team and a RevOps org building agents in-house.

The trajectory is steep and it's still early. We're a Series C company with 170+ people, $200M raised, and $100M ARR in sight this year. Inc. ranked us the No. 1 fastest-growing financial services company in America in 2026. Come build the next stage with us!

Recognition

We're a Certified Great Place to Work and have been honored for our culture and our growth:

• Newsweek's America's Greatest Startup Workplaces (2026)
• Fortune Best Workplaces in New York™ (2026)
• Great Place to Work Certified™

THE ROLE

Savvy's introducing broker-dealer is live, but the trading desk operation underneath it is still a work in progress. Trade supervision, best execution review, and principal-level sign-off have been handled ad hoc, split across a few people without a dedicated senior owner. As Senior Strategy & Operations Manager - Brokerage, you'll be the licensed principal of record for trading activity and the primary operations counterpart to our General Counsel/CCO. This is a senior, high-visibility role: you'll operate as a peer to Legal/Compliance and Business Operations.

RESPONSIBILITIES

TRADING DESK LEADERSHIP

• Build and own Savvy's trading desk operation end-to-end — trade lifecycle, execution quality, and best execution review — as the function's senior owner
• Serve as the licensed principal (Series 7/24) of record for trading activity, holding personal sign-off authority on trades, account actions, and exceptions requiring principal review
• Design and run Savvy's best execution prog

[…]
management

• Partner with Legal & Compliance on FINRA/audit requests, complaint reporting, and escheatment tracking
• Own the Fidelity relationship and vendor management for broker-dealer operations, transitioning fully from Rohan over time

MUST HAVE

• 6-8+ years of broker-dealer operations experience, including having personally built a brokerage/trading operations function from scratch (e.g., at an RIA custodian, broker-dealer, or clearing firm)
• Series 7, 63 and 24 licenses
• Deep knowledge of the trade lifecycle, best execution, and regulatory trade reporting (CAT/CAIS, Rule 605/606)
• Comfortable operating as a senior peer to Legal/Compliance and company leadership — presents and defends decisions directly, doesn't need managing
• Experience preparing for or supporting a FINRA/SEC examination
• High comfort with ambiguity — this function and its controls are being built from scratch
• AI-first builder mindset with a track record of automating manual ops work rather than scaling through headcount
• Background in a high-growth fintech or startup environment

NICE TO HAVE

• Additional licensing (Series 4, 53, 54, 9/10 or 99)
• Experience owning a clearing firm relationship (e.g., Fidelity NFS)

BENEFITS

• Competitive salary and equity package
• We offer a generous relocation package to help top talent make the move to our NYC office
• Unlimited PTO + paid company holidays
• Access to holistic medical, dental, and vision plans
• Company 401(k) (including Mega backdoor Roth options), Commuter, and HSA/FSA plans
• NYC office in Union Square
• Lunch and snacks provided in the office, & dinner if you stay late
• Access to virtual mental health care (Spring Health) and health concierge (Rightway) to help you find the right care
• Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)
• Benefits are available to full-time employees